Regulation

Since last year's rout, exchanges, issuers of exchange-traded products and other market players have met to discuss improvements.

Former Philadelphia Eagles player Merrill Robertson Jr. funded "luxurious" lifestyle with life savings of football coaches, complaint says.

Client claimed that adviser's recommended strategy earned fees and commissions for the bank but wrecked his inheritance from his great grandfather.

Arbitrators for the regulator also awarded an expungement to Dale Cebert, who claimed a campaign to damage his reputation followed his termination from the wirehouse.

Assets under advisement were said to be $13 billion. The AUM was much less.

One of the alleged fraudsters used client funds to pay off gambling debts, according to authorities.

The Wall Street regulator says the firm repeatedly ignored red flags for years.

The advice environment for participant rollover choices is muddled as plan providers struggle to gear up for the DOL’s rule.

Here’s a self-assessment exercise to help you determine where you are on the path to professionalism.

The new regulations are adding more pain to funds that have been plagued by seven years of the Fed's zero interest-rate policy.